Jobs at Cetera Financial Group

Manage tax team members, support wealth advisors with client tax strategies, maintain client relationships, review and sign complex individual, fiduciary, and small business tax returns, coordinate tax planning, improve processes, and communicate technical guidance. The role requires an active CPA or EA license and 5–7 years of public accounting experience, with management experience preferred.

Supports registered representatives by managing client communications, financial review appointments, paperwork, presentations, calendars, events, records, compliance documentation, and follow-up tasks. Maintains client data and notes across RedTail and AdviceWorks/SmartWorks, processes electronic signatures and daily paperwork, and helps advisors execute business plans, marketing activities, and service-level agreements. Requires strong communication, organization, deadline management, technology proficiency, and a high school diploma.

Leads a team supervising complex investment product transactions, including alternatives and annuities, for compliance with firm policies and regulatory rules. Partners with Legal, Compliance, Risk, and Operations; serves as a subject matter expert; develops and delivers product training; handles escalations; and supports suitability, risk profiling, and regulatory adherence.

Supports registered representatives and their clients by preparing paperwork, processing instructed transactions, scheduling meetings, coordinating client communications and events, maintaining records, and handling service inquiries. Provides account-service education, proactive outreach, compliance documentation, and follow-up on time-sensitive activities. The role also supports advisor business-plan processes, may train new team members, and requires appropriate insurance and FINRA registrations.

Leads marketing analytics capabilities, including KPI frameworks, recurring reports, executive dashboards, forecasting, predictive modeling, segmentation, and data governance. Translates marketing and business data into recommendations on acquisition, retention, channel performance, ROI, LTV/CAC, and brand health. Directs analytics resources and partners with Marketing, Sales, Finance, and leadership to support data-driven planning, reporting, and strategic decision-making.

Serves as the senior technical authority for enterprise network architecture, operations, security, and hybrid multi-cloud connectivity. Designs and supports Cisco, Meraki, Palo Alto, AWS, and Azure environments; leads troubleshooting, incident response, modernization projects, automation, monitoring, and security initiatives. Develops standards, documentation, and lifecycle plans while mentoring engineers and coordinating with stakeholders. Also designs AI-enabled networking agents with security controls, human oversight, auditability, and rollback procedures.

Leads regional recruitment of financial advisors into CFG’s broker-dealer network. Develops prospects, builds advisor relationships, creates territory recruiting plans, presents CFG’s value proposition, evaluates advisor fit, negotiates and closes offers, tracks pipeline activity in Salesforce and Excel, and supports recruiting process improvements. Requires extensive financial services sales experience, industry knowledge, communication and negotiation skills, relevant FINRA licensing, and travel throughout the Western Region.

Independently manage client bookkeeping and accounting records in QuickBooks, including general ledger maintenance, reconciliations, trial balances, journal entries, and month-end procedures. Analyze account activity, prepare payroll tax filings, maintain workpapers, resolve client accounting questions, and meet deadlines independently. The role requires strong Excel skills, accounting knowledge, attention to detail, communication, organization, and the ability to learn new software. Individual and business tax return preparation experience is preferred.

Provides principal oversight and supervision of securities transactions, financial representatives, account activity, correspondence, and sales practices. Reviews regulatory and suitability risks, addresses potential violations, coaches representatives, recommends corrective actions, and partners with Compliance, Legal, Risk, Operations, and leadership teams. Supports process improvements, mentoring, and initiatives while promoting compliance and risk awareness in a regulated brokerage environment.

Lead full-cycle recruiting, from intake through offer, while advising hiring managers on talent strategy, sourcing candidates, building pipelines, and improving candidate experience. Maintain recruiting data in Oracle Recruiting Cloud, support workforce planning and internal mobility, ensure regulatory compliance, and contribute to Talent Acquisition initiatives. The role requires strong stakeholder partnership, sourcing, networking, candidate assessment, and recruiting experience across U.S. locations.

Aggregates enterprise data, develops advanced analytics and financial models, and delivers strategic insights to Growth leaders. Builds Snowflake semantic models, Cortex-based agentic analytics, Claude and Copilot Studio workflows, data mesh products, dashboards, and automated reporting. Uses Excel, Tableau, Streamlit, Salesforce, Alteryx, and AI orchestration to support forecasting, advisor profiling, growth initiatives, operational efficiency, and executive decision-making.

Prepare and review complex federal, state, and local tax returns; conduct tax research; support tax planning strategies; collaborate with clients and internal teams; identify and resolve tax issues; participate in client meetings; maintain current tax knowledge; and improve processes while delivering integrated client solutions.

Attract and recruit independent financial professionals for Cetera’s broker-dealer network. Manage recruiting pipelines, targeted campaigns, candidate evaluations, appointments, and home-office visits. Serve as the initial prospect contact, explain Cetera’s business model, gather candidate business insights, and support tailored transition packages. Collaborate with external recruiters and cross-functional teams on lead generation, solution development, and sales enablement materials. Track activity in Salesforce and Excel while conducting candidate meetings and supporting recruitment strategy execution.

Manages compensation market data analysis, job architecture, pay benchmarking, salary ranges, job evaluations, career families, FLSA reviews, merit processes, and compensation program administration. Partners with HR and business teams to maintain competitive, compliant, and effective compensation practices. Requires careful handling of confidential employee information, strong Excel skills, cross-functional collaboration, and delivery against deadlines.

Serves as the liaison between financial advisors and clients by handling inquiries, scheduling, paperwork, meeting preparation, records, outreach, events, and regulatory documentation. Maintains client information in required systems, educates clients on account services and technology, coordinates with internal teams, and supports advisor business planning, marketing, communications, and workflows. The role requires strong organization, communication, attention to detail, adaptability, and client-service skills.

Supports Financial Advisors by serving clients, managing calls and appointments, preparing meeting materials, processing paperwork, maintaining records, coordinating events, conducting proactive outreach, and resolving inquiries. The role educates clients on account services and technology, documents communications and compliance activity, and partners with advisors and internal teams on planning, marketing, workflows, and service delivery.

Provide first-line payroll support for ~3,000 multistate employees: respond to payroll inquiries, process payroll data updates, assist with audits, reconciliations, off-cycle payments, and support system changes and M&A data cleanup.

Prepare and review federal and state tax returns for individuals, partnerships, corporations, and trusts. Research tax law, support tax planning, identify savings strategies, communicate with clients, train junior associates, manage processes and KPIs, produce client deliverables, handle bookkeeping/payroll as needed, and partner with wealth teams to integrate tax and advisory services.

Execute and manage trades across ETFs, mutual funds, and fixed income; raise and allocate cash for distributions; rebalance and tax-harvest client accounts; use trading platforms to implement strategies while adhering to risk and compliance; collaborate with Investment Manager and wealth managers to improve processes and communicate trade activity.

The Senior Compliance Analyst supports regulatory examinations for Cetera's advisors, managing compliance issues and communication with regulators, while ensuring adherence to relevant regulations.